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Supplement 1: Central Paternity Registry Work and System Requirements

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Central Paternity Registry

In Ohio, approximately 56,000 children are born out of wedlock each year. The Ohio Department of Job and Family Services (ODJFS) is the single state agency charged with responsibility to administer Title IV-D of the Social Security Act which requires the establishment of paternity and support. For children born out of wedlock, paternity can be established with an affidavit of paternity, an administrative order, or a court order. Paternity establishment is a necessary first step in the process of setting a child support order. In addition to a child support order, paternity establishment may result in eligibility for financial benefits including Social Security, pension benefits, veteran benefits, and inheritance benefits. Paternity establishment may also provide psychological and social bonds between father and child, and provide important medical history information.

Unmarried parents can establish paternity by voluntarily signing an affidavit of paternity, naming the biological father as the legal father. Federal regulations require that the paternity affidavit must be signed by the biological father before his name can be recorded on the child’s birth record (birth certificate). At the time of a birth, while still in the hospital, a great opportunity exists to educate parents on the importance and benefits of establishing paternity, as well as to provide them with the paperwork to do so. The Ohio Central Paternity Registry (CPR) works closely with each birthing facility to ensure they have the knowledge and tools to assist parents in completing affidavits of paternity.

In 1997, after Federal regulations required all states to establish central paternity registries, Ohio House Bill 352 mandated the creation of a central database of all parentage actions for children born out of wedlock. The database currently has more than 1,106,600 records that have been processed since January 1, 1998. During SFY 2017 (i.e., July 1, 2016 through June 30, 2017), the current CPR Contractor processed 52,477 documents. Additionally, the current CPR Contractor responded to approximately 250 - 300 calls per week, primarily from parents, hospital staff, registrars, Child Support Enforcement Agencies (CSEAs), and courts.

1.0 Overview of the Project

The selected Contractor will be responsible for day-to-day operations of the CPR for ODJFS. The main functions of the registry include the receipt and processing of all paternity documents (affidavits, administrative orders, rescissions, and court orders), and the development and maintenance of a single database (CPR database) that contains specific information from each paternity document. The selected Contractor will be responsible for interfacing electronically with ODJFS and the Ohio Department of Health (ODH). They will also be charged with entering into contracts with birthing facilities and local registrars to establish performance standards for completed affidavits and to provide reimbursement to birthing facilities. The CPR program receives approximately 13,500 documents from birthing facilities, registrars, CSEA’s, courts etc., each quarter. Only the birthing facilities and registrars are reimbursed $20.00 per correctly completed affidavit. The current CPR Contractor facilitated payments to birthing facilities and registrars totaling $702,340 during SFY 2017. Additionally, the selected Contractor will be required to operate a call center on state business days from 8:00 a.m. to 5:00 p.m. Columbus, OH local time. The CPR Contractor currently receives an average of 50 calls per day.

The Paternity Establishment Percentage (PEP) is an important Federal performance measurement for Ohio. The measure is derived by dividing the total number of paternities established by the number of children born out of wedlock in the previous year. Therefore, it is vitally important that all paternity documentation is received by the CPR Contractor so that each paternity establishment can be counted.

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The selected Contractor will be responsible for reconciling completed paternity documentation by program partners with documentation received by the CPR program. Increasing the number of paternities established each year is also important. The Offeror will propose an outreach/marketing plan designed to target underserved populations for paternity establishment.

2.0 Objectives of the Project

The Contractor’s objectives will be to:

1. Operate a Central Paternity Registry that fulfills state requirements to establish a single point of contact for all paternity actions in the State;

2. Operate a call center and website that will serve as a resource for parents, birthing facilities, registrars, courts, and CSEAs to receive responses to their questions regarding procedures or specific cases;

3. Create and maintain a CPR database to store historical and current paternity documentation;

4. Perform data entry for each paternity document, retrieving information from each action to add to the CPR database for tracking and reporting;

5. After data entry, forward all hard copy paternity documentation to ODH;

6. Send electronic transmissions of all paternity documentation (currently twice a week) to ODJFS and ODH;

7. Provide State staff and County staff with access to the data in the CPR database from which reports, both scheduled and ad hoc will be made available; Identity and authentication for State and County staff will leverage the Ohio Digital Experience (ODX) Federation for Single Sign-on (SSO).

8. Develop a team of Relationship Managers (RM), whose responsibility it will be to monitor Ohio’s Statewide Paternity Establishment Percentage (PEP) Score. The RMs will be the liaisons between program partners (birthing facilities, registrars, courts, clerks of court, and CSEAs) and the State Office of Child Support; and

9. Provide training, instructional materials and outreach/marketing for the program.

There is no specific library of documents, reports, or other information that Offerors interested in this RFP should consider. However, a wide variety of information on ODJFS and its programs which Offerors may find useful is available to the public via the ODJFS website at http://jfs.ohio.gov. The website for this specific program is www.oh-paternity.com.

3.0 General Scope

3.1 General Administrative Requirements

1. Attend Weekly Status and other Key Meetings - The State and Contractor Project Managers and other Project team members must attend weekly status meetings with other members of the

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http://www.oh-paternity.com/

http://jfs.ohio.gov/

Project team on State premises as deemed necessary by the State to discuss Project implementation issues. These weekly meetings must follow an agreed upon agenda and allow the Contractor and the State to discuss any issues that concern them.

2. Facility/Registrar Agreements – ODJFS enters into agreements with birthing facilities and vital statistics registrars for the purpose of completing paternity affidavits and for the payment of appropriate fees. Current agreements will remain in effect during the next contract period. The Contractor will be responsible for obtaining new agreements as an agent for ODJFS when a sufficient change occurs that would necessitate a new agreement such as a new Ohio birthing facility being established, or a new registrar being appointed. This paperwork must be completed no later than 90 days after it is discovered that a new or revised agreement is necessary. Sample agreements can be found in Supplement Three.

3. Monthly Invoice – A monthly invoice must be submitted to ODJFS which includes the amounts

paid to birthing facilities and registrars for the submission of valid affidavits as well as the charges to ODJFS for performance of other deliverables as separate line items. The invoice must be submitted on the Contractor’s letterhead. The billing date and service date must be included on the invoice. Supporting documentation must include an electronic list of hospitals and registrars receiving payments for valid affidavits during the invoice month. Invoices should identify the number of affidavits at each hospital and registrar. Invoices must be forwarded to a specific ODJFS address, as directed by the State.

4. Facility Reimbursement – The Contractor will reimburse the facilities (birthing facilities/registrars) $20.00 for each correctly completed affidavit. Contractor will advance payments to the facilities within 15 days of the end of the calendar quarter, and will invoice ODJFS for this amount quarterly on their monthly invoices for August, November, February and May.

IMPORTANT: Offeror cost proposals are to include the $750,000 amount to be passed through from ODJFS to the facilities for affidavit completion. For contract purposes, ODJFS will obtain a purchase order for the amount of the selected offeror's accepted cost proposal plus an amount appropriate for payments by the Contractor to birthing facilities for completed affidavits. The amount made available to the selected Contractor for completion of this deliverable will be based on historical volume and projections and may be increased by ODJFS if actual use exceeds projections. Actual use of funds for this purpose by the selected Contractor must be fully documented. Contractor must assure that payments are made promptly and accurately.

3.2 Document Processing Requirements

1. Document Processing – Monday to Friday on all state business days, the Contractor must process original notarized affidavits, copies of administrative orders of paternity, certified court orders and rescission documents received from birthing facilities, local registrars, CSEAs, courts, and parents. The Contractor must date-stamp affidavits, administrative orders of paternity, certified court orders and rescissions on date of receipt. The Contractor must create a numbering process, which must be approved by ODJFS and ODH, to facilitate record identification. The Contractor must also create a batch numbering system for batches of two-hundred records.

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2. Document Review - The Contractor must review affidavits, administrative orders of paternity, certified court orders, and rescission documents for validity in accordance with criteria provided by ODJFS. Invalid documents will be sent back to the point of origin with a letter of explanation. The Contractor must track returned documents for correction and re-submission within the database. Upon completion of work with all such documents, the Contractor must provide them to ODH, twice per week, for comparison and permanent storage.

3. Document Imaging - The Contractor must create and store images of all affidavits, and rescissions, excluding those that do not pass the review process at CPR. Additionally, the Contractor must create and store images of CSEA administrative orders establishing paternity and court orders establishing paternity. The imaged documents will be made available to the CSEAs and OCS staff through the CPR Database required in this RFP within 48 hours of the numbering of the document by CPR. User Authentication and Device authentication/Pinning to restrict access to the secure CPR document site will be required. User Identity and Authentication will be provided through Integration with ODX using Username and Password leveraging SSO.

Legible images, scanned at 300 DPI or better, must be browser agnostic. All document images produced during this Contract are property of ODJFS. The Contractor must develop multiple search criteria, including document number, mother's name, mother's social security number, mother's county of residence, father's name, father’s social security number, child's name, child's date of birth, date of birth date range, so the CSEAs and OCS can access copies without delay. The estimated volume of imaged documents is 50,000-55,000 per year. For SFY 2017, the current CPR Contractor imaged 52,477 paternity documents.

4. Record Creation – Records should be created by entering the following information from each affidavit, administrative order, court entry, and rescission document into the database:

a. Father's 1. Name (first and last), 2. Date of birth, 3. Street Address, 4. City and State, and5. Social Security Number;

b. Mother's 1. Name (first and last), 2. Maiden Name,3. Date of birth4. Street Address, 5. City and State, and6. Social Security Number;

c. Child's 1. Name,2. Name change history,3. Social security number, 4. Address, 5. Date of birth,

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6. Sex, and7. City, county and state of child's birth;

d. Date paternity was established;

e. Date the document was received by Contractor (Mail stamp date);

f. Date the document was processed (entered into the database) by Contractor;

g. Origin of the document (where the document came from);

h. Type of document; and

i. Unique document number assigned by Contractor.

NOTE: This data-entry function must be performed by the Contractor in the greater metropolitan Columbus, Ohio area because same business day document pickup and delivery is required. Document pickup and delivery service to be arranged and paid for by the Contractor. A statement (with location) affirming the offeror’s compliance with this requirement must be included in the offeror’s proposal.

5. Error Correction – Any documents sent to ODJFS or ODH that contain errors will be returned to the Contractor for database correction. They are to be corrected and re-processed within two business days.

6. Timeliness and Accuracy - All data entry for affidavits and other records must be completed within two (2) business days of receipt. A quality assurance (QA) process must be established to ensure that processed records are 100% accurate. The QA process may be separate or be combined with data entry, however, all documents must be validated as 100% accurate within three (3) business days of receipt. Immediate action will be required by the Contractor when the accuracy rate falls below 100%. The Contractor will be responsible for creating an auditable process, for the purpose of providing a report of timeliness and accuracy. The State reserves the right to review this process at its discretion. If the Contractor determines a backlog has developed so that it cannot meet the two-day requirement, the Contractor must alert ODJFS immediately and include corrective measures to eliminate the backlog.

7. File Transmission – The Contractor must transmit information electronically twice weekly (currently Tuesday and Thursday) to ODH and ODJFS. The transmission will consist of all new records processed by the CPR Contractor. Transmission must be completed by 10:00 am on the specified days. ODJFS requires secure plus transmission methods. The Contractor will be required to establish an account with ODH. ODJFS and ODH reserve the right to change the transmission requirements at any time. File Transmissions must meet the data security standards listed in Supplements 2 & 4.

8. Hard Copy Transfer – On the same frequency as the electronic file transmission above, the Contractor must send the hard copy of all affidavits and other records to ODH for comparison and permanent storage.

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3.3 Training, Technical Assistance, & Community Education Requirements

NOTE: All instructional materials to be produced under this Contract are subject to approval by ODJFS. The printing of project materials is subject to State of Ohio regulations excluding the following: project correspondence; the introductory mailing announcing the Contractor's contact points and reports; and a reasonable number of copies of instructional materials for distribution to ODJFS for approval. Offerors are not to include printing costs in their cost proposals because ODJFS will print the approved materials. The selected Contractor will be required to provide finalized, approved documents in print-ready/reproduction-ready condition to ODJFS, sufficiently in advance of any scheduled distribution and dissemination of materials, to allow for any corrections and printing time. Reproduction of printed materials will be completed under existing ODJFS and State of Ohio agreements for printing services.

Any and all instructional materials produced by the selected Contractor under terms of the contract resulting from this RFP must be the sole property of ODJFS.

1. Introductory Mailing - The Contractor must develop and send an introductory mailing to approximately 108 birthing facilities, 115 registrars, and 88 CSEAs (counts as of 1/1/2018). This mailing will include basic information on the Contractor's points of contact (including address, phone, fax, email, toll-free number and website). The Contractor is responsible for the costs of the introductory mailing, including postage. ODJFS shall provide the Contractor with the appropriate mailing list. Upon acceptance of successful transition requirements an introductory mailing that has been approved by the ODJFS must be sent as a letter or brochure in an envelope in conjunction with system go live. See Deliverable 008 in Section 7.7.

2. Birthing Facility Staff Instructional Video - The Contractor must produce an instructional video for use by birthing facilities and registrars' offices’ staff at the start of the contract term. The video must cover the key points of state regulations and any ODJFS rules for the completion and submission of paternity affidavits. The video must be of professional quality, produced in color, close captioned and designed as a standalone training aid. The Contractor must assume all responsibility for creation, production, copying and distribution of the video. ODJFS retains approval authority for final content. The Contractor will be responsible for making the videos available to all birthing facilities and registrars' offices at contract initiation. The offeror will propose the best method for distribution of this video and the General Public Instructional Video (see 3 below) as part of their RFP response. See Deliverable 009 in Section 7.7.

3. General Public Instructional Video - The Contractor must produce a video that is 3-5 minutes in length for use by the general public (mothers, fathers, other family members) in birthing facilities. This video will also be used in other outreach/marketing efforts. The content of the video will stress the importance of paternity establishment. The Contractor is responsible for the creation of the video, production, and distribution of copies to all birthing facilities. The video must be of professional quality, produced in color, close captioned and designed as a standalone training aid. The video should be produced in English, Somali and Spanish versions of the content described above. ODJFS shall provide the selected vendor with the appropriate list of contacts to distribute the video to. ODJFS has final approval rights for content. The general public instructional video must also be made available on the CPR website in all three languages for public consumption. See Deliverable 009 in Section 7.7.

4. Brochure - The Contractor is responsible for the distribution of multi-color tri-fold brochures provided by ODJFS that explain the affidavit process as part of its overall marketing effort.

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Initial and subsequent distribution of the brochures to birthing facilities, registrars, and CSEAs will be the Contractor's responsibility. Approximately 50,000 brochures will be available for the initial distribution in English, 5,000 brochures in Spanish, 5,000 brochures in Somali. A digital version of the brochure must also be made available on the CPR website, in all three languages for public consumption.

5. Toll-free Number - The Contractor must maintain the existing toll-free number to receive inquiries regarding documents. The Contractor must report to ODJFS monthly as part of the activity summary report regarding the number of calls received on the toll-free number. The toll-free line will be operable from 8:00 a.m.-5:00 p.m. on work days (Monday through Friday), excluding state holidays. Voicemail must be available 24-hours a day. The Contractor must respond to all voicemail messages within one (1) business day.

6. Website – In conjunction with go live, the Contractor must develop and maintain an Internet website conforming to ODJFS branding specifications and with broad appeal to a diverse population. See Deliverable 010 in Section 7.7. The website must include an overview of affidavit procedures and general information about paternity and rescission processes. The website will also clarify the role of ODH in birth record comparisons as required by law. Included in the website should be embedded videos, graphics etc., to provide a dynamic experience for the general user. The Contractor must ensure that the website has mobile compatibility, and that its contents are available in English, Spanish and Somali. Once per biennium, the Contractor, with the assistance of ODJFS, is required perform a routine audit and refresh of the website and its contents to ensure that it remains up to date.

The website must adhere to State of Ohio IT Policy IT-09 Web Site Accessibility which may be retrieved from http://www.das.ohio.gov/Portals/0/DASDivisions/DirectorsOffice/pdf/policies/informationtechnology/IT-09.pdf

As part of its submission, the offeror is required to submit sample wireframes of its proposed new website solution. The necessary branding information can be found in Supplement 3 Appendix B.

7. Correspondence - Contractor must process and provide appropriate follow-up to all letters of inquiry or other correspondence sent to the CPR program from local registrars, hospitals, parents, or the general public. The Contractor must date stamp these items, and respond to matters under its purview within two (2) business days. The Contractor must maintain a log of the dates that correspondence was received and responded to for inspection by ODJFS. Any correspondence requiring an OCS response must be forwarded to OCS within two (2) business days of receipt.

8. Relationship Management – The Contractor must utilize Relationship Managers (RM), to perform the following activities:

a. Interact with program partners (birthing centers, registrars, courts, clerks of court, and CSEAs) for the purpose of providing guidance, training, performance monitoring and follow up with these entities. Minimum RM activities will include regularly scheduled visits (3-4 times per calendar year or as needed) to discuss the benefits of the paternity

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http://www.das.ohio.gov/Portals/0/DASDivisions/DirectorsOffice/pdf/policies/informationtechnology/IT-09.pdf

http://www.das.ohio.gov/Portals/0/DASDivisions/DirectorsOffice/pdf/policies/informationtechnology/IT-09.pdf

program, deliver materials, train staff, and lead discussion of practical barriers to completion of affidavits and other paternity documents and their timely delivery to CPR.

b. Perform a monthly reconciliation using data provided by ODJFS to ensure the timely delivery of affidavits and other paternity documents to the CPR from all program partners by the 15th of the following month. Then provide a report to ODJFS with the results of the reconciliation. The reconciliation will compare State paternity establishment data maintained within the Support Enforcement Tracking System (SETS) with documentation received at CPR from program partners.

c. Execution of the training plan described below in Section 3.3:10. d. Execution of the marketing plan described below in Section 3.3:9. e. Provide a monthly report to ODJFS described below in 3.4:4.

9. Client Outreach/Marketing – In order to enhance the paternity establishment program in Ohio, the Contractor must perform outreach and marketing to reach parents whose child(ren) need legal paternity established. The Contractor is required to submit a plan annually covering how they will market and grow the CPR program. The plan must include the benefits of paternity establishment for the child and must also include how the population to which the marketing will be directed will be identified. Further, the plan must also include a section reviewing the prior year’s plan and performance after the first year, including outcome and growth metrics covering the target populations as described below. The plan for regular outreach and marketing to underserved populations will include but not be limited to the following:

a. Parents whose child(ren) need legal paternity established; b. Parents whose child(ren) have paternity established, but do not have a child support

order established for the child(ren); andc. Other potential customers from physician’s offices, prenatal clinics, public health

offices, Head Start, Women Infant and Children (WIC) program, churches, and community centers.

As part of their proposal, Offerors must include their suggested outreach/marketing plan. This plan should cover the Offeror’s unique approach to improving the State’s PEP score and how it plans to build relationships with care providers to underserved populations.

10. Program Partner Training Plan – The Offeror must include in their proposal a training plan to conduct up to eight (8) training sessions total per year for program partners. The Contractor will be responsible for the content of the training sessions, development of training materials, securing locations, registering attendees, and evaluation of training effectiveness. Training should target the following audiences:

a. Paternity affidavit training at birthing facilities, registrars and CSEA staff training – The Contractor must conduct regional training meetings for staff from birthing facilities, registrars and CSEAs. The sessions are to be held in various locations across the State of Ohio. The Contractor shall select the location of each regional training meeting, but it must be approved by ODJFS prior to the training session. Each session must run approximately four (4) to five (5) hours in length and may serve up to 75 people at a session. Topics will include general affidavit procedures, and solutions to frequent issues that hospital and registrar staff regularly encounter (married mothers, minors, delayed signatures, etc.).

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b. Paternity order submission for courts and clerks of court – The Contractor must conduct training sessions for various judicial bodies. These training sessions may be provided at conferences, specially scheduled meetings, or through video conferences. Locations for training sessions may vary throughout the State and must be approved by ODJFS in advance. Dates and times for the training sessions will be determined cooperatively by the Contractor and ODJFS, with final approval by ODJFS. Topics will include the importance of accurate and timely order submission, review of forms used in the process, and ways to avoid common errors that are observed by the CPR staff.

3.4 Reporting Requirements

1. Transition Report- This report should be a weekly status report covering all project activities and deliverables that are part of the database build and CPR transition process applicable that week. This must include the Discovery report, testing reports, bug fix reports, conversion reports and error reporting as applicable.

2. Data Access – The Contractor must make available to Office of Child Support (OCS) staff and CSEAs all the data elements captured in the CPR Database. It is expected that data will be made available in real time and that data access will be provided across all of OCS allowing for a more integrated reporting and inquiry environment for any given OCS operation. The CPR database must allow for the CSEAs and OCS staff to view and print imaged affidavits, rescissions, court and administrative orders. These images are for agency use only. Sufficient search criteria must be established to allow CSEAs to quickly locate documents for viewing and printing.

3. Pre-Programmed Reports -At a minimum, the Contractor must make the following pre-programmed reports available and downloadable in PDF and MS Excel format.

a. Affidavit Participation Report – provides a breakdown of affidavits received by individual birthing facilities, CSEAs, parents and registrars for the month. Affidavits received are to be summarized by under 18 and 18 and older. A sample of the report has been provided as Appendix C-Affidavit Participation Report to this RFP.

b. Paternities Established Year-To-Date – The number of affidavits, court & administrative orders, and rescissions received from birthing facilities, CSEAs, courts, registrars and parents where applicable. Additionally, the report must capture births to non-Ohio mothers. The report must provide a statewide summary as well as a breakdown by county. The report must also have the capability of being produced under multiple date ranges such as calendar, state and federal fiscal years. A sample of the report has been provided as Appendix D-Paternities Established Year-To-Date Report to this RFP.

c. Affidavit Efficiency Report - The number of affidavits received from each birthing facility, CSEA, registrar, and parents and the date paternity was rescinded (if applicable), and the amount of time (in days), each entity took to submit completed documents to CPR after the final notarized signature.

d. Other reports must be developed as needed during the contract.

4. The Contractor must also make the following monthly report available electronically within five (5) business days after the end of the previous month:

Activity Summary Report:

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a. Statewide Paternity Establishment Percentage (PEP) Performance – the statewide PEP is the ratio of paternities established compared to children born-out-of-wedlock (BOW). This report item will be a forecast of the statewide PEP ratio to the end of the Federal Fiscal Year (FFY). The ratio will be calculated by determining the monthly average number of paternities established year to date and populating subsequent months with the average to the end of the FFY. This projected number will be compared to the BOW children.

b. A record of data transmissions to ODJFS and ODH to include date transmitted and number of records.

c. A report of relationship management activities – this report will detail the Contractor’s effort during the previous month in cultivating relationships with program partners who contribute to paternity establishment. Activities to report on will include any and all items addressed with program partners as outlined in Section 3.3:8 above. This report must include a calendar with past visits and future visits.

d. Call Center Activity Reports – The Contractor must provide daily, weekly, and monthly reporting on Help Desk activities. Reports must include performance statistics as approved by the ODJFS. See section 5.0 Call Center for a list of metrics to be reported on.

e. Timeliness and Accuracy Report – The Contractor must provide a report that demonstrates how a 100% data entry accuracy rate was achieved in the previous month.

3.5 Transition Assistance Services

The Contractor must provide Transition Assistance Services to the State, or at the State’s request to the State’s designee to allow contracted services to continue without interruption or adverse effect and to facilitate the orderly transition to a new service provider.

Transition Assistance Services must commence as follows:

No less than six (6) months prior to expiration of this Contract or on such earlier date as the State may request; or

Upon notice of termination/partial termination; or

Upon notice of non-renewal of this Contract.

For a period of up to three (3) months following the effective date of expiration, termination or non-renewal, at the State’s request, the Contractor will continue to provide Transition Assistance Services.

Upon State request, the Contractor must provide Transition Assistance Services that include, at a minimum:

Provide assistance, cooperation and information as is reasonably necessary to help enable a smooth transition of the applicable Services to the State or its designated service provider.

Provide information as the State may reasonably request relating to the number and function of each of the Contractor personnel performing the Services.

Transfer State-owned data, information, deliverables, work products, documentation, etc.

Identify any dependencies on the new service provider necessary for the Contractor to perform the Transition Assistance Services.

Assist the State in the identification of significant potential risk factors relating to the transition.

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Assist the State in designing plans and contingencies to help mitigate identified risks.

Submit a Transition Plan, for approval by the State, which includes a timeline for successfully completing the Transition Assistance Services.

Meet with State staff and new awardee staff on an as needed basis to be decided by ODJFS.

Schedule and plan for Contractor’s return to the State (i) the State’s service locations then occupied by Contractor (if any), and (ii) the State’s Confidential Information, State Data, documents, records, files, tapes and disks in Contractor’s possession.

The Contractor must provide a single point of contact who will be responsible for Contractor’s overall performance of the Transition Assistance Services.

4.0 Staffing Requirements

4.2 Staffing Plan

The Offeror must provide a staffing plan that identifies all the personnel by position that the offeror proposes and that are required to operate the Central Paternity Registry. The staffing plan must show each individual’s responsibilities on the Project. The State also requires a staffing plan that matches the proposed Project key personnel and qualifications to the activities and tasks that will be completed on the Project. At minimum, the Offeror’s proposal must identify the following Key Project Personnel: (1) Project Manager, (2) Program Manager, (3) IT Lead; (4) Outreach/Relationship Managers.

In addition, the plan must have the following information:

1. An organizational chart including any sub-contractors, key management and administrative personnel assigned to this project;

2. A contingency plan that shows the ability to add more staff if needed to ensure meeting the Project's due date(s), outreach/marketing and relationship management requirements;

3. A statement and a chart that clearly indicates the time commitment of the proposed Project Manager and the Contractor’s Key Project Personnel, inclusive of the Project Manager and the Contractor’s proposed team members for this Work during each phase of the Project; and

4. The Offeror also must include a statement indicating to what extent, if any, the candidates may work on other projects or assignments that are not State related during the term of the Contract. The State may reject any Proposal that commits the proposed Project Manager or any proposed Key Project Personnel to other projects during the term of the Project, if the State believes that any such commitment may be detrimental to the Contractor’s performance.

The State expects that the proposed named Key Project Personnel will be available as proposed to work on the Project. Resumes for the proposed candidates must be provided for all Key Project Personnel. Representative resumes are not acceptable. The resumes will be used to supplement the descriptive narrative provided by the offeror regarding their proposed project team.

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The resumes (2-page limit per resume) of the proposed Key Project Personnel must include:

1. Proposed Candidate’s Name;

2. Proposed role on this Project;

3. Listings of completed projects that are comparable to this Project or required similar skills based on the person’s assigned role/responsibility on this Project. Each project listed must include at a minimum the beginning and ending dates, client/company name for which the work was performed, client contact information for sponsoring Directors, Managers or equivalent level position (name, phone number, email address, company name, etc.), project title, project description, and a detailed description of the person’s role/responsibility on the project.

4. Education;

5. Professional Licenses/Certifications/Memberships; and

6. Employment History.

In addition to providing a resume, the Contractor must provide a detailed narrative highlighting why the proposed Key Project Personnel possesses the necessary experience, education, training and professional certifications to successfully perform their assigned role/responsibility on the Project. This can be accomplished on Attachment 7 of the RFP document, Offeror Profile forms.

4.2 Project Manager

The proposed candidate must have experience as a full-time Project Manager overseeing the implementation of a document and workflow management project that is similar in size and scope to this project. The candidate must have five (5) years’ experience or more implementing and managing complex public-sector programs and must have at least a bachelor’s degree from an accredited college.

4.3 Program Manager

The proposed candidate will be the point of contact, after implementation, for the State of Ohio and must demonstrate that they can handle the multi-faceted, onsite day to day operation of the program. Those responsibilities include, but are not limited to, the following: overseeing the data entry process, call center operation, overseeing the Relationship Managers and assisting in the coordination and implementation of the outreach/marketing arm of the program. He or she should be present during the System Conversion Phase, described below starting in 7.0.

The candidate must have a minimum of five (5) years of experience managing complex public-sector programs and must have at least a bachelor’s degree from an accredited college.

4.4 IT Lead

The candidate must have experience as an integration architect for a document and workflow management implementation project that is similar in size and scope to this project. He or she must also have experience as a full-time IT Lead responsible for system requirements development specification, design and implementation to the production of a document management system in the public sector.

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The IT staff person assigned must possess at least a bachelor’s degree in computer science or related field and have five (5) years computer programming experience.

4.5 Outreach/Relationship Managers

The offeror must propose sufficient staff to perform the duties detailed in Section 3.3:8 above. The candidates will have demonstrated and referenceable experience developing professional relationships with a broad range of individuals such as; elected officials, medical professionals, state and county child support professionals, etc. Candidates will also demonstrate an ability to balance multiple responsibilities and manage shifting priorities without direct supervision. They must also have experience in outreach/marketing, training materials creation and delivering user training for a wide range of audiences. He or she must have at least a bachelor’s degree from an accredited college.

5.0 Call Center

The Contractor must staff the Customer Service Help Desk throughout the day with the number of operators appropriate to meet the performance specifications defined below:

1. Maintain the average call response time at or below 60 seconds;

2. Respond to all email inquiries within one (1) business day;

3. Respond to all voicemail inquiries within one (1) business day;

4. Respond to all correspondence received within two (2) business days;

5. Maintain, at a minimum, a monthly average call answer rate of 97%; and

6. Maintain a busy rate at or below 1% of calls.

The Contractor must receive inquiries and provide an automated response for any known problems through the following means at a minimum:

1. The existing toll-free phone number;

2. E-mail;

3. Fax;

4. P.O. box; and

5. Any alternative methods proposed by the Contractor (e.g. online portal, instant message, etc.).

6.0 General System Requirements

Based on the State’s priorities that factor cost, ability to migrate to the new operating environment, integrations, conversion considerations and other factors, a minimum set of project requirements for each phase is identified later in this Supplement. The offeror is strongly encouraged to provide its approach and project implementation plan based on its own demonstrable success and experience that would lead to the most cost-effective and low-risk implementation of the Solution that meets the RFP requirements.

6.1 System Access: User Accounts

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The CPR database will leverage Ohio Digital Experience (ODX) for user identity and authentication using Federated Single Sign-on (SSO). Corresponding CPR database identities will be created and removed using just in time provisioning technics and leverage Assertions to properly categorize and organize OCS and CSEA workers within the CPR database.

The CPR Database will include a maintenance function for administrators to modify, mark users as inactive for the system, and assign roles/permissions. The CPR Database will maintain the following data elements for the user account:

1. Username (Corresponding to OH | ID)2. User First Name3. User Last Name4. User Title5. User Type6. User Email Address7. Date Added (read-only)8. Date Modified (read-only)9. User Last Modified (read-only)

6.2 Operational Requirements

The CPR system must be available except during scheduled maintenance and be designed to accommodate high usage during normal business hours of Monday-Friday 7am through 6pm Columbus, Ohio local time with no planned or unplanned outages during these hours.

6.3 Disaster Recovery & Backups

The Central Paternity Registry data will be backed up once each business day by the Contractor and proposals must include a comprehensive disaster recovery plan.

CPR system data will be retained according to State data retention policy.

6.4 Policy Compliance

The solution provided by the Contractor must be in compliance with State Security, Data Handling, IT and Access Policies contained in Supplements 2 & 4 of this RFP. Additionally, due to the sensitive nature of the information handled, ODJFS requires that the Contractor notify the State if they share office space or resources with another program.

7.0 Project Management Phases and Requirements

The following subsections describe the responsibilities, tasks, activities and deliverables required for successful completion of each phase. The offeror must provide details on their Project approach to phasing including methodology and rationale.

7.1 Conversion Phase - Initiate

This phase initializes the Discovery period and commences the activities to successfully implement, at a minimum, the Project requirements, establish Project teams and conduct kick-off meetings. The Contractor must conduct a Project kick-off meeting with State identified project members and Contractor

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resources. The State will be responsible for organizing and conducting any necessary kick-off meetings with stakeholders. However, the Contractor will be required to participate and provide support as necessary for these stakeholder kick-off meetings.

In this phase, the Contractor must also lead planning sessions to ensure, at a minimum, the following:

A common understanding of the project implementation approach and work has been established;

A common vision of all deliverables has been established;

All elements and Work Products of the Preliminary Project Plan as listed under Deliverable 001 described later in this section are produced, reviewed and validated by the State;

Clarity on scope of overall project and the responsibilities of the Contractor have been defined and agreed to by the State.

Additionally, the Contractor is required to establish and maintain all required Project reporting for status, risk and issue management, changes, decisions, resource management, schedule, and other reporting needs not otherwise stated herein.

A critical component of the Preliminary Project Plan is the Quality Management Plan (QMP) which describes how quality will be managed throughout the lifecycle of the project, and defines how the Project Team will implement, support, and communicate project quality practices for use with the project. It also includes the processes and procedures for conducting quality planning, quality assurance and quality control.

The following table contains, at a minimum, the list of tasks and the roles and responsibilities for the State and Contractor for the Initiate phase:

Initiate Phase Key Tasks State ContractorConduct Project kick-off meeting Support PerformIdentify State stakeholders and manage expectations Perform SupportIdentify and verify project scope Support PerformVerify project implementation approach Support PerformCreate the project Work Breakdown Structure (WBS) Support PerformCreate a preliminary project plan and all related Work Products Support PerformPrepare for and conduct on-going project meetings Support PerformCreate and maintain Project status reports Support PerformReport and manage issues and risks Support PerformAssist with on-boarding for the Contractor resources Support PerformConfirm State Project staffing Perform SupportConfirm Contractor Project staffing Support PerformConfirm Project governance Perform SupportProvide planned checkpoint review dates Support Perform

The Contractor must submit the following deliverable with the associated elements and Work Products (WP) listed below:

Deliverable 001Preliminary Project Plan

Implementation Scope for Project Implementation (WP) Identified out-of-scope areas (WP) Project Work Breakdown Structure (WBS) (WP) Project Schedule – including sub-projects supporting WBS, Review

Checkpoints (WP)

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Project Team Rosters and State-Verified Roles and Responsibilities Matrix (WP)

Project Dependencies Project’s Critical Path Quality Management Plan (QMP) (WP) Preliminary Benefits Realization Measures (WP) Project Management Approach (WP)

7.2 Conversion Phase - Analyze

This phase is primarily intended to review, verify, and finalize the State’s requirements and business processes to establish the benefits realization baseline data, and prepare for Solution design and blueprint.

The Contractor must analyze impacts to the integration points with external systems, for example ODH’s system or ODX.

The outcome of all analysis activities in this phase must be a State approved final and definitive set of requirements and Requirements Traceability Matrix (RTM). The Matrix must document and associate each requirement to all relevant Solution functionalities, Configurable or Customization components, customizations, extensions, integrations, and conversions.

The following table contains at a minimum, the list of tasks and the roles and responsibilities for the State and Contractor for the Analyze phase:

Analyze Phase Key Tasks State ContractorReview requirements & system functionality Support PerformIdentify integration/conversion points Support PerformProvide functional impacts on external systems Support PerformDefine technical environment requirements for the project from Design through Deployment and Run. This includes any components or tools required to support development, test, configuration management, etc.

Support Perform

Complete and document definitive technical and integration requirements Support PerformComplete and document definitive conversion requirements Support PerformCreate Requirements Traceability Matrix (RTM) Support PerformBegin stakeholders’ communications Perform Support

In relation to the tasks above, the Contractor must provide the following two deliverables:

Deliverable 002Requirements vs. Functionality Gap

Discovery Reports (WP) Definitive Business Requirements (WP) Definitive Conversion Requirements (WP) Definitive Technical and Integration Requirements (WP)

Deliverable 003Requirements Traceability Matrix

In addition to Deliverable 003, the Contractor must, in collaboration with the State, create a conversion strategy plan which describes what system records are to be converted and/or migrated into the solution and clearly define/describe the data elements involved.

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The Contractor must provide the following Conversion Strategy and Plan deliverable:

Deliverable 004Conversion Strategy and Plan

Conversion Strategy and Plan (Includes List of Systems/Data Being Converted and/or Migrated)

7.3 Conversion Phase – Master Test Plan

The Contractor must also create and provide detailed testing plans early in the Project. The types of tests required will be determined as an outcome of design iterations. During this phase, the Contractor will create a Master Test Plan that includes a collection of all test plans for various functions and parts of the Solution.

The State of Ohio will provide a small set of data to support a “pilot” conversion onto the new system.

The Contractor must provide the following Master Test Plan deliverable with the associated Work Products:

Deliverable 005Master Test Plan

Functional Testing Plans/Scenarios & Procedures (WP) System Performance Testing Plans & Procedures (WP) Integration Testing Strategy & Plan (WP) User Acceptance Testing (UAT) Strategy and Plan (WP) Operation Readiness Test (ORT) Plan & Procedures (WP) Integration Acceptance Criteria (WP) Conversion Acceptance Criteria (WP) Ohio Digital Experience (ODX) for user identity and authentication Integration

Testing

Using the Preliminary Project Plan developed in the Initiate phase, the Contractor must develop a Detailed Project plan that addresses rollout/implementation. The Contractor must provide the following Detailed Project Plan deliverable with the associated Work Products:

Deliverable 006Detailed Project Plan

Comprehensive Project Work Breakdown Structure (WBS) (WP) Detailed Project Schedule - including sub-projects supporting WBS, Review

Checkpoints (WP) Definitive Project Team Rosters and Finalized, State-Verified Roles and

Responsibilities Matrix (WP) Validated Project Dependencies Finalized Project’s Critical Path Finalized Project Management Approach (WP)

7.4 Conversion Phase –– User Acceptance Testing

The User Acceptance Testing (UAT) phase will check all aspects of the Solution including but not limited to its functionality, performance, integration, and the conversion/migration of relevant data.

Offeror Note: With respect to testing activities, the Contractor is responsible for all activities associated with System Test. The State is responsible for UAT execution while the Contractor will be responsible for test preparation, management and tracking of UAT activities.

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System Test focuses on the customizations/extensions, configurations, workflow and integrations. Test conditions and test scenarios to be included in the System Testing will be mutually agreed upon by the Contractor and the State. These scenarios will be based on an analysis of the requirements, changes, and modifications that are approved for implementation.

UAT verifies the usability of the new processes and ensures that the system meets the requirements and the needs of the organization and the end user. UAT leverages System Test Scripts and is executed by State resources. A key objective of UAT is to facilitate an understanding of the technology and the business change being implemented.

The Contractor must provide all support necessary for the State to conduct Security Testing of each functional release which may include activities such as manual testing of the system and loading of maliciously formatted inbound interface files.

The Contractor is responsible for all unit, system, performance and regression testing of the Solution and system-related changes. Such changes must not be introduced into a Production environment until they have been through the complete test cycle described above and approved by the State after a successful UAT.

The Contractor must remedy all bugs/defects discovered during testing and maintain a bug/fix tracking report that clearly identifies each bug detected in testing, the status of the resolution, and the projected fix/resolution date. The Contractor must also provide additional testing steps if needed as part of the bug fix/resolution.

The Contractor must develop and prepare weekly status reports to monitor the progress of each test phase.

The Contractor must, to the extent possible, implement measures to help avoid unnecessary recurrence of incidents, by performing root cause analysis and event correlation for items discovered during testing/validation activities.

The Contractor must perform and successfully complete, at a minimum, the following Test phase tasks:

Test Phase Key Tasks State ContractorDevelop and maintain test data repositories as agreed appropriate Support PerformPerform batch testing with each system the CPR solution interfaces with Support PerformManage and track System /Regression Test, and UAT Support PerformExecute System / Regression Test and document results Support PerformExecute UAT Perform SupportDocument UAT results Support PerformPrepare for and execute Security Test Perform SupportPrepare for and execute Performance Test Support PerformSupport Functional Team Testing Support PerformDevelop, update and maintain a migration checklist Support PerformPrepare for final move to Production Support PerformPrepare for and execute Assembly Test Support PerformPrepare for and execute Performance Test Support PerformSupport Functional Team Testing Support PerformConduct tests for moving to Production Support PerformProvide updated Test Scripts to the State for UAT Support PerformMigrate release functionality to UAT environment Support Perform

Deliverable 007 Interface Assurance Plan

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Catalog all systems the CPR solution will need to interface with, including but not limited to, those at ODH and ODX provide detailed results of each batch test performed with all systems with which the CPR Solution will interface.

Provide a detailed monitoring plan for each system interface used by the CPR solution.

7.5 Conversion Phase - Deploy

At the end of successful testing, the functionality will be deployed. The Contractor must manage the deployment activities and must conduct a deployment readiness assessment to determine the technical readiness of the Solution functionality for Go-Live. Part of the readiness assessment will be to determine that the State has reviewed and accepted all functional, technical, and OCM requirements.

For the purposes of Solution functionality deployment, Go-Live means the point at which the relevant users are trained, have their roles assigned, and are provided access to the Production environment to begin conducting their official business.

The Contractor, with the State’s approval, must drive the technical planning and execution for the system deployment which includes, at a minimum, the coordination of software deployment to the file server elements, deployment of interfaces, any required data conversions/migrations, installation and verification of any required middleware products, installation of server software, and any required verification to achieve the proper roll‐out of the application software.

To receive State approval to deploy, the Contractor must confirm that the following pre-deployment tasks are completed for each Release which comprise the State’s Production Acceptance Checklist (PAC):

Revise Requirements Traceability Matrix to reflect as implemented

Provide a list of all customizations and components as implemented

Provide detailed System Test Cases and Demonstrate Successful Completion of Same

Provide detailed Performance Testing Results

Demonstrate completion of final State User Acceptance Testing and an affirmation of same by the State

Provide final Operational Readiness Testing Results and an affirmation of same by the State

Complete User and System Administration Documentation that represent the system as implemented

Any deviation, partial acceptance or waiver of PAC requirements must be agreed to in writing and in advance by the State.

The Contractor must develop and submit for State approval, a Deployment and Stabilization Plan which addresses all deployment and go-live activities. This Plan will include both Contractor and State activities identifying all required resources, roles and responsibilities. The Plan will also include a deployment and go-live schedule which must be mutually agreed to by the State and the Contractor. Once approved by the State, the Contractor will be responsible for managing the execution of the Plan.

The Contractor must perform and successfully complete, at a minimum, the following Deploy phase tasks:

Deploy Phase Key Tasks State ContractorExecute required data conversions or migrations as applicable. Support PerformCreate the Deployment and Stabilization Plan Support PerformPerform required data matching activities and error reporting as applicable Support PerformDocument data issues and provide to the State for resolution as applicable Support Perform

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Compile and maintain solution issue lists Support PerformProduce an end-to-end final validation of the operational architecture and corresponding operational documentation for the upgraded and implemented modules

Support Perform

Conduct quality and progress reviews with appropriate State personnel Support PerformTransition solution support responsibility according to the Deployment & Stabilization Plan Support PerformManage training environments sufficient to support the overall training effort Support PerformCreate and distribute introductory mailing Support PerformCreate and distribute instructional DVDs Support PerformCreate new program website Support Perform

Deliverable 008Deployment and Stabilization Plan

Functional Release Go-Live Technical Readiness Assessment (WP)

In conjunction with successful go live, the Contractor must send an introductory mailing to all birthing facilities, registrars and CSEAs as described in Section 3.3:1.

Deliverable 009 Introductory Mailing

In conjunction with successful go live, the Contractor must produce and make available an Instructional video to all birthing facilities, registrar’s offices and CSEAs as described in Section 3.3:2 Birthing Facility Staff Instructional Video and 3.3:3 General Public Instructional Video.

Deliverable 010 Instructional Videos

In conjunction with successful go live, the Contractor must create a website for the program that conforms with the requirements described in Section 3.3:6.

Deliverable 011 Program Website

7.5.1 Conversion Phase – Deploy- Performance Period Responsibilities

A successful Performance Period is required to demonstrate that the CPR solution meets requirements and performs according to State-approved Service Levels for a period of up to thirty (30) consecutive days unless otherwise agreed by the State. In the event that a Severity 1 or 2 issue or any critical blocking issue, as defined in the Service Levels section of this Supplement occurs during this 30-day period, this 30-day period may be extended at the sole discretion of the State for a period commencing upon satisfactory resolution of the issue in the production environment. Under no circumstances will the Contractor performance during this period, including successful conclusion of this period (i.e., no Severity 1 or 2, or critical blocking issues detected for 30 consecutive days) be construed as relief from, or reduction to, any requirements or responsibilities contained in this RFP for a complete, operational CPR product.

During the Performance Period, the Contractor must measure, monitor and report to the State its performance against the relevant Service Levels then in effect. It is the State’s intent to work with the Contractor on adjusting any Service Levels during the Performance Period, if necessary. The State does not intend to assess performance credits based on Service Levels during the Performance Period. Once the Performance Period is successfully completed as determined by the State, then the Contractor may submit the production release for State acceptance. Once the State accepts the production release, the

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Contractor must manage, maintain and operate the solution according to the terms of the Contract and the State-approved Service Levels will apply.

The State’s final acceptance of the system is conditional upon a successful Performance Period defined herein and in Attachment Four, Part Five: Standards of Performance and Acceptance. Upon the successful completion of the Performance Period, the Contractor must present the production release of the CPR Solution to the State for acceptance by submitting a system certification letter.

During the Performance Period, the Contractor must at a minimum:

Provide personnel with the requisite skills and experience levels in the solution to answer questions that the State may have;

Address any software defects, gaps, omissions or errors that are discovered in the Contractor’s work as they pertain to operation in a production environment;

Resolve any performance, compatibility or configuration issues that arise as a result of migration of the Contractor’s work to a production environment;

Document any relevant changes to operational, configuration, training, installation, commentary or other documentation as a result of migration to the Contractor’s work to a production environment; and

Provide personnel with the requisite skills and experience levels in the solution to perform production issue triage, root cause and remedy analysis and wherever possible propose workarounds, fixes, patches or remedies (code-based, procedural or environmental) required to successfully operate the CPR solution in a production environment.

If the production release of the CPR solution fails the Performance Period, the Contractor will be in default and the State may apply the remedies available to it under the Contract.

The Contractor must provide the following deliverable to certify the State’s acceptance of the Performance Period for each functional release:

Deliverable 012 Certification Letter of State’s Acceptance Functional Release

7.6 Conversion Phase - Run

Following initial release of functionality, the Contractor will assume the Run Phase responsibilities of ensuring that all operating environments are fully functional, maintained, and supported. Details of these Contractor responsibilities are defined in Section 8, Service Level Agreements.

8.0 Service Level Agreements and Contractor Fee Credits

8.1 Parties and Timelines

This service level agreement is effective as of the date of award of this work. ODJFS and the service provider shall review at least quarterly to determine if any modifications or amendments are needed to reflect the State support requirements and service provider’s services.

8.2 Service Level Framework

This section sets forth the functional and technical specifications for the Service Level Agreements (SLA) to be established between Contractor and the State. This section contains the tables and descriptions that provide the State framework and expectations relating to service level commitments, and the implications

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of meeting versus failing to meet the requirements and objectives, as applicable. This document defines the State’s detailed performance, management, and reporting requirements for all Contractor Services under this RFP.

Both the State and Contractor recognize and agree that new categories of Service Levels and Performance Specifications may be added during the term of the Contract as business, organizational objectives and technological changes permit and require.

The method set out herein will be implemented to manage Contractor’s performance against each Service Level, in order to monitor the overall performance of Contractor.

Contractor will be required to comply with the following performance management and reporting mechanisms for all Services within the scope of this Statement of Work:

Service Level Specific Performance – Agreed upon specific Service Levels to measure the performance of specific Services or Service Elements. Most individual Service Levels are linked to financial credits due to the State (“Performance Credits”) to incent Contractor performance.

Service Level Specific Performance Credits – Each Service Level (SL) will be measured using a “Green-Yellow-Red” traffic light mechanism (the “Individual SL GYR State”), with “Green” representing the highest level of performance and “Red” representing the lowest level of performance. A Performance Credit will be due to the State in the event a specific Individual SLA GYR State falls in the “Yellow “or “Red” state. The amount of the Performance Credit for each SLA will be based on the Individual SLA GYR State. Further, the amounts of the Performance Credits will, in certain cases, increase where they are imposed in consecutive months.

Set forth below is a table summarizing the monthly Performance Credits for each SLA. All amounts set forth below that are contained in a row pertaining to the “Yellow” or “Red” GYR State, represent Performance Credit amounts.

The Contractor agrees that in each month of the Contract, 12% of the monthly project charges (MPC), not including the reimbursement costs for affidavits, will be at risk. MPCs are the charges for the services accepted during a given month. The MPC for the Project Implementation will be at risk for failure to meet the Service Levels set forth in the Contract. The Contractor will not be required to provide Performance

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Consecutive (SLA Performance Credits)Individual SL-GYR State

1st Month

2nd Month

3rd Month

4th Month

5th Month

6th Month

7th Month

8th Month

9th Month

10th Month

11th Month

12th Month

Red

A =1.71% of MPC

A + 50% of A

A + 100% of A

A + 150% of A

A + 200% of A

A + 250% of A

A + 300% of A

A + 350% of A

A + 400% of A

A + 450% of A

A + 500% of A

A + 550% of A

Yellow

B = 0.855% of MPC

B + 50% of B

B + 100% of B

B + 150% of B

B + 200% of B

B + 250% of B

B + 300% of B

B + 350% of B

B + 400% of B

B + 450% of B

B + 500% of B

B + 550% of B

Green None None None None None None None None None None None None

Credits for multiple Performance Specifications for the same event; the highest Performance Credit available to the State for that particular event will apply.

On a quarterly basis, there will be a “true-up” at which time the total amount of the Performance Credits will be calculated (the “Net Amount”), and such Net Amount will be set off against any fees owed by the State to the Contractor.

Moreover, in the event of consecutive failures to meet the Service Levels, the Contractor will be required to credit the State the maximum Performance Credit under the terms of the Contract.

The Contractor will not be liable for any failed Service Level caused by circumstances beyond its control, and that could not be avoided or mitigated through the exercise of prudence and ordinary care, provided that the Contractor immediately notifies the State in writing and takes all steps necessary to minimize the effect of such circumstances and resumes its performance of the Services in accordance with the SLAs as soon as possible.

For example, if an Individual SL GYR State is Yellow in the first Measurement Period, Red in the second Measurement Period and back to Yellow in the third Measurement Period for an SLA then the Performance Credit due to the State will be the sum of Yellow Month 1 (B) for the first Measurement Period, Red Month 2 (A + 50% of A) for the second Measurement period, and Yellow Month 3 (B + 100% of B) for the third Measurement period, provided (1) such Performance Credit does not exceed 12% of the MPC (the At-Risk Amount); and, (2) no single Service Level Credit will exceed 20% of the total At-Risk Amount, as stated below:

SLA Calculation EXAMPLEMonthly Project Charge (MPC) = $290,000.00Monthly At Risk Amount = 12% of MPC = $34,800Maximum for any one SLA = 20% of At Risk Amount = $6,960GYR State 1st Month 2nd Month 3rd MonthRed 0 $ 0 $7,438.50 0Yellow 1 $2,479.50 1 1 $4,959.00Green 6 $ 6 6Totals 7 $2,479.50 7 $7,438.50 7 $4,959.00

Adjusted Totals by At Risk Amount and 20% per individual SLA Limitations

(Is monthly total of all Service Level Credits equal to or less than $34,800?) - Yes



(Is monthly amount for any one Service Level Credit equal to or less than $ 6,960?) - Yes

(Is monthly amount for any one Service Level Credit equal to or less than $ 6,960?) - No

(Is monthly amount for any one Service Level Credit equal to or less than $ 6,960?) - Yes

$2,479.50 $6,960.00 $4,959.00 Total Quarterly Credit: $ 2,479.50 + $ 6,960.00 + $ 4,959.00Total Quarterly Credit: $ 14,398.50

Service Level Performance Credit payable to the State = (B) + (A + 50% A) + (B + 100% B), based on an illustrative MPC of $290,000.

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The total of any weighting factors may not exceed 100% of the total At-Risk Amount. To further clarify, the Performance Credits available to the State will not constitute the State’s exclusive remedy to resolving issues related to the Contractor’s performance. Service Levels will commence with Project initiation for any Implementation Project.

Monthly Service Level ReportOn a monthly basis, the Contractor will provide a written report (the “Monthly Service Level Report”) to the State which includes the following information: (i)the Contractor’s quantitative performance for each Service Level; (ii) each Individual SL GYR State and the Overall SL Score; (iii) the amount of any monthly Performance Credit for each Service Level (iv) the year-to-date total Performance Credit balance for each Service Level and all the Service Levels; (v) a “Root-Cause Analysis” and corrective action plan with respect to any Service Levels where the Individual SL GYR State was not “Green” during the preceding month; and (vi) trend or statistical analysis with respect to each Service Level as requested by the State. The Monthly Service Level Report will be due no later than the tenth (10th) accounting day of the following month.

Failure to report any SLA, SLA performance in a given month, or for any non-Green (i.e., performing to Standard) SLA a detailed root cause analysis that substantiates cause will result in the State considering the performance of the Contractor for that period as performing in a Red State.

Failure to Report or Report Late after Mutually Agreed DatesShould for any reason the Contractor fail to report or produce the Monthly Service Level Report to the State on a mutually agreeable date, in part or in total, the Contractor performance for the Service Levels, in part or in total, must be considered Red for that period. Should, under agreement of the State a Service Level not apply in a given period, the report must reflect this agreement and indicate “not applicable this period”.

Applications and EnvironmentsThe State acknowledges that its environment requirements fall into two major categories: 1) critical applications – those that are required to perform day-to-day state functions in production; and 2) non-critical application environments – which are defined as items that do not have a significant impact on day-to day operations, are used in a non-production capacity, which may not adversely impact the productivity of State development efforts or are otherwise used to support non-commercial activities. The Contractor must deliver Service Levels in keeping with the criticality levels as described herein.

State Provided Service Support Infrastructure ElementsThe following items will not be considered Contractor Fault with respect to Service level failures and therefore not apply to any Contractor Performance Credits or Overall Contract Performance considerations discussed later in this section:

Failures outside of the scope of the Contractor responsibilities pursuant to the Services responsibility scope;

Failures due to non-performance of State retained responsibilities pursuant to the services responsibility scope;

Failure of an out-of-scope State provided element that directly impacts an in-scope Contractor element;

Failures arising from State provided equipment or networks;

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A pre-existing or undocumented deficiency in a State provided computing element as they pertain to adhering to State Policies and Standards. In this case, upon identification the Contractor is to promptly notify the State of the identified deficiency;

Failure of a State provided resource to follow and comply with Contractor provided processes and procedures except where: (i) State Policies and Contractor policies are in conflict in which case the State resource must notify the Contractor of the conflict and resolve which process applies or; (ii) in cases of emergency that would place the State resource at physical peril or harm;

Failure of a State provided third party warranty or maintenance agreement to deliver services to the Contractor for in-scope services and infrastructure elements that result in the Contractor’s inability to perform at required levels;

The period of time associated with an incident where a State provided or contracted 3 rd party service, repair or replacement service renders an in-scope infrastructure element unusable by the Contractor to provide the Contracted Services.

The incident requires assistance for a State retained responsibility, is delayed at the State’s request, or requires availability of an End User that is not available;

Mutually agreed upon service interruptions such as scheduled changes to the technical environment;

State implemented changes to Production Environments that the Contractor is not aware or apprised of.

Service Level SLA Coverage

1 Incident Resolution – Mean Time to Repair (Severity 1 Outages) SLA 7x242 Incident Resolution – Mean Time to Repair (Severity 2 Outages) SLA 7x24

3 Incident Resolution – Mean Time to Repair (Severity 3 Outages) SLABusiness Hours

4 Service Availability – Application and Data Access Availability SLA 7x245 Application Performance & Responsiveness SLA 7x24

6 Incident Resolution - Issue Triage, Closure and Recidivist Rate SLABusiness Hours

7Monitoring & Auditing – Application Security Breach Detection, Notification and Resolution

SLA 7x24

8 Document Processing Performance SLA Continuous

9 Call Center Performance SLABusiness Hours

10 Correspondence Performance SLABusiness Hours

11 Reporting Performance SLABusiness Hours

12 Service Quality – System Changes SLAScheduled Maintenance

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Incident Resolution – Mean Time to Repair (Severity 1 Outages)Business Intent: Prompt resolution of outages that impact State processing and processes

Definition: Mean Time to Repair (Severity 1 Outages) will be determined by determining the elapsed time (stated in hours and minutes) representing the statistical mean for all Severity 1 Outage Service Requests for in-scope Services in the Contract Month.

“Time to Repair” is measured from time Service Request is received at the Level 2 Service Desk to point in time when the incident is resolved or workaround is in place and the Contractor submits the resolved Service Request to the State for confirmation of resolution.

“Severity 1 Outage” is defined as:Incident (a) renders a business critical System, Service, Software, Equipment or network component un-Available, substantially un-Available or seriously impacts normal business operations, in each case prohibiting the execution of productive work, and (b) affects either (i) a group or groups of people, or (ii) a single individual performing a critical business function.

This Service Level begins upon completion of agreed production acceptance criteria and a measurement period as documented in the transition to production plan.The Contractor must report updates and progress to the State every thirty (30) minutes for this SLA until resolved.

Formula:

Mean Time to Repair (Severity 1 Outages)

=

Total elapsed time it takes to repair Severity 1 Outage Service Requests

Total Severity 1 Outage Service Requests

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Measurement Period: Reporting Month

Data Source: Activity Summary Report

Frequency of Collection: Per incident

Service Level Measures:

Individual SL GYR StateMean Time to Repair (Severity 1 Outages).

Green <= 4 hoursYellow > 4 hours and <= 6 hoursRed > 6 hours

Incident Resolution – Mean Time to Repair (Severity 2 Outages)Business Intent: Prompt resolution of outages that impact State processing and processes.

Definition: Mean Time to Repair (Severity 2 Outages) will be determined by determining the elapsed time (stated in hours and minutes) representing the statistical mean for all Severity 2 Outage Service Requests for in-scope Services in the Contract Month.

“Time to Repair” is measured from the time a Service Request is received at the Level 2 Service Desk to point in time when the incident is resolved or workaround is in place and the Contractor submits the resolved Service Request to the State for confirmation of resolution.

“Severity 2 Outage” is defined as : Incident (a) does not render a business critical System, Service, Software, Equipment or network component un-Available or substantially un-Available, but a function or functions are not Available, substantially Available or functioning as they should, in each case prohibiting the execution of productive work, and (b) affects either (i) a group or groups of people, or (ii) a single individual performing a critical business function.

This Service Level begins upon completion of agreed production acceptance criteria and a measurement period as documented in the transition to production plan.

In the event of “go live” of new functionality, an Upgrade, or significant change in the architecture of the Application environment, this Service Level will be suspended temporarily from the time the “go live” of the applicable Change through two (2) business days following completion of stabilization criteria in accordance with the transition to production plan.

The Contractor must report updates and progress to the State every sixty (60) minutes for this SLA until resolved.

Formula: Mean Time to Repair

= Total elapsed time it takes to repair Severity 2 Outage Service Requests

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(Severity 2 Outages)







Green <= 8 hoursYellow > 8 hours and <= 12 hoursRed > 12 hours

Incident Resolution – Mean Time to Repair (Severity 3 Outages)Business Intent:

Prompt resolution of issues and irregularities that impact State processing and processes.

Definition: Mean Time to Repair (Severity 3 Outages) will be determined by determining the elapsed time (stated in hours and minutes) representing the statistical mean for all Severity 3 Outage Service Requests in the Contract Month.

“Time to Repair” is measured from time a Service Request for in-scope Services is received at the Level 2/3 Contractor Service Desk to point in time when the incident is resolved or workaround is in place and the Contractor submits the resolved Service Request to the State for confirmation of resolution.

An Incident must be categorized as a “Severity 3 Outage” if the Incident is characterized by the following attributes:

the Incident causes a group or individual to experience an Incident with accessing or using a System, Service, Software, Equipment or network component or,

A key feature thereof and a reasonable workaround is not available, but does not prohibit the execution of productive work.

This Service Level begins upon completion of agreed production acceptance criteria and a measurement period as documented in the stabilization and transition to production plan.

The Contractor must report updates and progress to the State every twenty-four (24) hours for this SLA until resolved.

Formula: Mean Time to Repair

= (Total elapsed time it takes to repair Severity 3 Outage Service Requests)

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(Severity 3 Outages)







Green <= 5 business daysYellow > 5 business days <=7 business daysRed > 7 business days

Service Availability – Application and Database AvailabilityBusiness Intent:

The Database is available to All State Users for All Business Functions to Support State Processes.

Definition: Application and Database Access Availability for each in-scope Platform, Environment, Module and Business Process.

Application Availability means access to the production system is enabled; log-in permitted from the local user LAN and business transactions can be executed.

This SLA will be calculated for those Service Elements that are directly in the Contractor’s scope and will be measured from the end-user community desktop to the ability to process transactions to the database. If, in determination of the root cause of an “unavailable” condition, the State LAN, WAN and Data Center outages, or the outage of State provided Infrastructure is the cause of the condition, the Contractor must be excused from those outages that arise from such a condition, unless the outage is a direct result of a Contractor created situation.

Formula: Application Availability

=

Total Application Scheduled Uptime – Total Application Unscheduled Outages

Total Application Scheduled Uptime



Frequency of Collection:

Continuous, 24 hours a day


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Individual SL GYR StateCritical/Production Environment

Non Critical Environments

Green >= 99.9% >= 99.0Yellow >= 99.7% and <

99.9%>=95.0 and < 99.0

Red <99.7% <95.0%

Database Performance and Responsiveness

Business Intent:

Online and Batch Processes perform within expected norms, the end user experience is high performance and responsive and scheduled jobs, processes and reports execute within the established job schedule without intruding upon online application users or other business functions.

Definition: System Performance and Responsiveness will be based upon an end-to-end service class performance baseline (e.g., network time, application/session response time, system time, and network return time) performed by the Contractor during the transition or as mutually agreed will perform for key service elements for a statistically valid sample of 5 EPM/ scheduled reports.

Online response time for this application. Online response time is measured as the elapsed time from when a request enters the Central Paternity Registry system until the request has been satisfied and leaves the Central Paternity Registry system. This includes processing times of all components covered under this RFP, which participate, in fulfilling the request, including but not limited to Firewalls, Load Balancers, WAN/LAN Telecommunications Lines, Web Servers, and Application and Database Servers. The definition of a transaction is any system action that requires a screen to paint, refresh or system update to complete during normal operations. Mutually agreed to exception functions will be excluded from measurement. Response times are only applicable to system within the control of the Contractor or their sub-Contractor(s) as identified in this Contract.

Should the Contractor wish to accept State written requirements for each of the above in lieu of benchmarking, or use the aforementioned benchmarking, this sample will serve as the “Performance Baseline” for this SLA.

Thereafter, the Contractor must perform automated testing on a daily basis for online transaction elements or provide objective evidence from system generated statistics, and provide run-time statistics for scheduled/batch system jobs and scheduled report and compare these to the Performance Baseline.

Two % deviations from the Performance Baseline will be calculated: 1) % Variation Online Transactions and 2) % Variation Batch/Scheduled Operations; The higher variation (i.e., online or batch) will be used in the below formula for both the numerator and denominator

Formula: System Performance

= Observed (Online or Batch Scheduled) Performance

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and Responsiveness

Baseline (Online or Batch) Performance



Frequency of Collection: Continuous, 24 hours a day and Schedule Job/Report Performance


Individual SL GYR StateSystem Performance and Responsiveness

Green < = 100%Yellow >100% - <=110%Red > 110%

Incident Resolution - Issue Triage, Closure and Recidivist Rate

Business Intent:

Incidents affecting, online batch or otherwise, are promptly addressed, prioritized and resolved to the satisfaction of the State and to not reoccur or cause corollary or spurious issues to occur as a result of the repair to the element that was the root cause of the Incident.

Definition: Incident Triage, Closure and Recidivist Rate will be determined by monitoring compliance with the following four key performance indicators (KPI):

1. Incident Triage: Contractor to indicate high-level diagnosis and estimate to remedy to the State within 30 minutes of acknowledgement.

2. Incident Closure: Incident to be documented with root cause remedy, (where root cause is within Contractor’s control), and procedures to eliminate repeat of incident within 24 hours of incident close.

3. Incident Recidivist Rate: Closed incidents not to reappear across all in scope Services no more than 1 times following incident closure.

4. Incident means any Severity 1 or 2 incident where the Services for which Contractor is responsible are unavailable.

Formula:

Issue Triage, Closure and Recidivist Rate

=

Total Severity 1 and 2 Incidents for which Contractor is responsible under the SOW, where solution Services are unavailable) - (Number of Incidents where the KPI was not in compliance

(Total Severity 1 Incidents where Services for which Contractor is responsible under the SOW are unavailable)

Measurement Period: Calendar Quarter


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Frequency of Collection: Calendar Quarter, All Severity 1 and 2 Incidents


Individual SL GYR State

Incident Resolution - Incident Triage and Closure and Recidivist Rate

Green >= 99.5Yellow < 99.5 and > =99.3Red < 99.3

Security – Monitoring & Auditing – Security Breach Detection

Business Intent:

Ensure that State Security policies are implemented correctly, and monitored and followed at all times for all users of whether end-user, State, Contractor or 3rd Party

Definition: System Security Breach Detection will be determined by monitoring compliance with the following three key performance indicators (KPI):

System security breach success notification due within 30 minutes of physical intrusion detection of any element within the Contractor’s responsibility area or Contractor provided facility or element that accesses including Contractor’s machines.

Suspension or Revocation of unapproved or intruder access in accordance with State established procedures within 10 minutes of State approval or (absent State approval) 15 minutes.

System security breach (attempt, failure) notification due within 1 hour of such physical intrusion detection. Notification will be as set forth in the Process Interface Manual or other supporting documents.

Formula:Security Breach Detection

=

(Number of instances where individual KPI’s were not in compliance)

Measurement Period: Month

Data Sources:

Infrastructure Antivirus/Malware/Rootkit Scan logs, Active Port Scanning Logs, User Account Review Report

Frequency of Collection: Monthly


Individual SL GYR StateSecurity Breach Detection

Green <= 0

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Yellow N/ARed > 0

Document Processing Performance

Business Intent:

Process all documents received in two (2) business days with 100% data accuracy and then transmit these files to ODJFS and ODH twice per week for additional processing and verification.

Definition: Contractor will receive and enter all paternity records within two (2) business days of receipt. They will then create a unique record for each paternity document containing all of the data elements listed herein. Any errors in paternity documents must be corrected within three (3) business days of receipt. All electronic files will be securely transmitted to ODJFS & ODH twice weekly by 10am as outlines in Section 3.2 above. All hard copies will be forwarded to ODH twice weekly.

Formula:Document Processing Performance

=

(Total Number of incorrectly processed records) + (Total Number file transmission deadlines missed)

Total Number of Documents Processed

Measurement Period: Monthly

Data Sources: Timeliness and Accuracy Report


Daily


Individual SL GYR StateDocument Processing Performance

Green = 100%Yellow > 1% <= 5%Red > 5%

Call Center Performance

Business Intent:

Answer calls during State business hours to provide both technical and end user support. Maintain phone, fax and email for the program.

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Definition: The Contractor must staff a Customer Service Help Desk throughout the day with the number of operators appropriate to meet the performance specifications defined below:

1. Maintain the average call response time at or below 60 seconds;

2. Respond to all email inquiries within one (1) business day;

3. Respond to all voicemail inquiries within one (1) business day;

4. Maintain, at a minimum, a monthly average call answer rate of 97%; and

5. Maintain a busy rate at or below 1% of calls.

Formula: Call Center Performance

=

(Total Number calls answered above 60 seconds) + (Total Number of emails responded to after one (1) business day) + (Any monthly average call answer

rate above 97%) + (Days with a busy rate above 1%)

(Total Number of calls) + (Total Number of emails) + (Monthly average call answer rate)+ (Number of days in the month)


Data Sources: Call Center Activity Report


Daily

Service Level Measures:Individual SL GYR State Call Center PerformanceGreen = 100%Yellow > 1% <= 5%Red > 5%

Correspondence Performance

Business Intent: Track and respond to user questions sent by mail to the CPR program.

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Definition: Contractor must process and provide appropriate follow-up to all letters of inquiry or other correspondence sent to the CPR program from local registrars, hospitals, parents, or the general public. The Contractor must date stamp these items, and respond to matters under its purview within two (2) business days. The Contractor shall maintain a log of the dates that correspondence was received and responded to for inspection by ODJFS. Any correspondence requiring an OCS response must be forwarded to OCS within two (2) business days of receipt.

Formula: Correspondence Performance

=

(Total amount of correspondence older than two (2) business days without reply)

(Total amount of correspondence)


Data Sources: Call Center Activity Report


Daily


Individual SL GYR StateCorrespondence Performance

Green = 100%Yellow > 1% <= 5%Red > 5%

Reporting Performance

Business Intent:

Receive reports related to the performance of the CPR program in a timely fashion.

Definition: Receive an Activity Summary Report within five (5) business days of the end of the reporting month that includes the following: the Statewide Paternity Establishment Percentage Performance; the data transmission record between ODJFS and ODH; the relationship management report; the call center activity report; and the timeliness and accuracy report. Additionally, the Contractor is required to provide to ODJFS a monthly reconciliation to ensure the timely delivery of affidavits and other paternity documents to CPR from all program partners by the 15th of the following month. The reconciliation will compare state paternity establishment data maintained within the Support Enforcement Tracking System (SETS) with documentation received at CPR from program partners.

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Formula:Reporting Performance

=

(Days past the 5th business day of the month for Activity Summary Report) + (Days past the 15th of the month for the reconciliation report)

(Days in the month)


Data Sources: ODJFS Staff


Daily

Service Level Measures:Individual SL GYR State Reporting PerformanceGreen = 100%Yellow > 1% <= 5%Red > 5%

Service Quality – System Changes

Business Intent:

System Changes are implemented correctly the first time, and do not cause unintended consequences to users, scheduled jobs and reports, corrupt or compromise data or data relationships and otherwise perform as intended from a functional, technical and performance perspective. Non-Production environments reflect Production.

Definition: The Service Quality System Changes measure is determined by monitoring compliance with the following four key performance indicators (KPI):

1. System changes or updates (i.e., break fix, configuration, and patches) in any release to production environment are implemented correctly the first time inclusive of all code, non-code, configuration, interface, scheduled job or report, database element or other change to the production environment

2. System changes or updates are propagated within 5 business days as mutually deemed appropriate to non-production environments such that environment configurations are synchronized and reflect the then current environment and a common development, testing, QA, demonstration and training environment is carried forward that is reflective of production.

3. Production system changes (i.e., break fix, configuration, and patches) in releases that do not cause other problems.

4. System changes or updates (i.e., break fix, configuration, and patches) in emergency releases are implemented correctly the first time that comprise the system.

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Formula:

Service Quality – System Changes

=Total Number of KPIs not met

Total Number of KPIs met


Data Sources: Production Change Report

Frequency of Collection: Each Change to Production and Follow-On Changes to Non-Production

Service Level Measures:Individual SL GYR State Service Quality – System ChangesGreen <= 2%Yellow > 2% <= 5%Red > 5%

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